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Investor Compensation Directive
As Published: 2001
Investor Compensation Directive
the Council Directive of 3 March 1997 on investor compensation schemes (No 97/9/EC). 5…
takeover bid
As Published: 2001
takeover bid
an offer, as the term is used in the Takeover Code , or any other similar conduct governed by that code. 3…
IDD Regulation
As Published: 2018
IDD Regulation
160 Commission Delegated Regulation (EU) 2017/2359 of 21 September 2017, supplementing the IDD of the European Parliament and of the Council with regard to information requirements and conduct of busi…
annual percentage rate
As Published: 2003
annual percentage rate
9 the annual percentage rate of charge for a contract as calculated in accordance with MCOB 10 (Annual percentage rate).
establishing, operating or winding up a stakeholder pension scheme
As Published: 2001
establishing, operating or winding up a stakeholder pension scheme
the regulated activity , specified in article 52 (a) 30 of the Regulated Activities Order (Establishing etc. a pension scheme), of establishing, operating or winding up a stakeholder pension scheme .
Central Fund
As Published: 2001
Central Fund
the Central Fund established under Lloyd's Central Fund Byelaw (No 4 of 1986) and the New Central Fund established under Lloyd's New Central Fund Byelaw (No 23 of 1996). 3…
UK SMCR firm
As Published: 2018
UK SMCR firm
78 (a) a UK SMCR banking firm ; or (b) any other SMCR firm that is a UK domestic firm .
eligible capital
As Published: 2013
eligible capital
89 has the meaning in article 4(1)(71) of the EU CRR .
own account transaction
As Published: 2001
own account transaction
a transaction executed by the firm for its own benefit or for the benefit of its associate . 4…
tier one capital resources
As Published: 2004
tier one capital resources
14 the sum calculated at stage F of the calculation in the capital resources table (Total tier one capital after deductions) 26 .
payment institution
As Published: 2009
payment institution
71 226 an authorised payment institution , an EEA authorised payment institution or a small payment institution . [Note: articles 4(4) and 32(3) 159 of the Payment Services Directive ]…
arranging (bringing about) a home reversion plan
As Published: 2006
arranging (bringing about) a home reversion plan
32 the regulated activity , specified in article 25B(1) of the Regulated Activities Order , which is in summary: making arrangements for another person to: (a) enter into a home reversion plan as reve…
lifetime ISA
As Published: 2017
lifetime ISA
72 an individual savings account as prescribed in regulation 4(1ZB) of the ISA Regulations .
plan investor
As Published: 2001
plan investor
5 a person entered in the plan register under COLL 6.4.9 R (Plan registers). 17…
auction regulation
As Published: 2011
auction regulation
85 Commission Regulation (EU) No 1031/2010 of 12 November 2010 on the timing, administration and other aspects of auctioning of greenhouse gas emission allowances pursuant to Directive 2003/87/EC of t…
MiFID RTS 7
As Published: 2017
MiFID RTS 7
118 Commission Delegated Regulation (EU) No 2017/584 of 14 July 2016 supplementing MiFID with regard to regulatory technical standards specifying organisational requirements of regulated markets, mult…
closely related
As Published: 2006
closely related
48 (in GENPRU and BIPRU ) describes a relationship between two or more persons under which one or more of the following applies: (a) the insolvency or default of one of them is likely to be associated…
retirement annuity
As Published: 2001
retirement annuity
an individual pension policy effected before 1 July 1988 53 by a self-employed person or a person in non-pensionable employment which was 53 approved under Chapter III, Part XIV of the Income and Corp…